Financial Industry Regulatory Authority (FINRA)

The Financial Industry Regulatory Authority (FINRA) offers tools and a key dispute resolution forum for investors to protect themselves against fraudulent and unqualified brokers. The articles below will help you learn more about FINRA and Sonn Law Group’s services for FINRA arbitration.

To speak with a legal professional about your FINRA arbitration needs, please feel free to call us now at 844-689-5754.

FINRA 2111 Suitability Rule

Understanding the FINRA Investment Suitability Rule 2111 FINRA rule 2111 requires that a registered investment advisors (RIAs) and broker-dealers must have a reasonable belief that[...]

Read More +